Regulatory Compliance Solutions

Software developed and supported by people with
decades of regulatory compliance experience
Innovative. Flexible. Scalable.
BasisCode – The basis of an audit-ready business


The BasisCode Compliance suite of compliance management software solutions are used by some of the world’s leading financial services, consulting, legal, accounting, fund administrator and broker-dealer organizations.


BasisCode has financial compliance software that work for every size and every need.

Core software for organizations with basic compliance needs; enterprise software for firms requiring more comprehensive solutions. Every BasicCode compliance software solution is scalable and flexible to meet your organization’s needs.

New!! BasisCode Compliance Insider Trading Manager™

A revolutionary proactive approach to monitoring Insider Trading! Enables users to detect suspicious or abnormal trading that may have resulted from the misuse of material non-public information. Available as a standalone software solution or as part of an integrated suite.

BasisCode Compliance Essentials

The core of a robust compliance and reporting program. Essentials covers testing and certifications, risk assessment, gifts and entertainment, whistleblower, document portal and employee portal.

BasisCode Compliance Enterprise

A comprehensive compliance management software solution dedicated to larger firms with a global or more complex footprint. Enterprise covers testing and certifications, risk assessment, gifts and entertainment, whistleblower, personal trading, forms studio, documents portal, extensive reporting and an employee portal.

BasisCode Compliance Personal Trading Manager

Streamlines management of personal trading including pre-clearance and post clearance, trade request analysis and employee-managed or direct feed brokerage options. Available as standalone or as part of an integrated suite.

BasisCode Compliance Forms Studio

Replace hardcopy documents using a flexible tool that enables employees to submit forms online.

BasisCode Compliance Consultant Manager

Developed exclusively to allow compliance consultants to enhance compliance management controls, improve staff performance and productivity, and increase operational efficiency and scalability.

What customers are saying

"We got up and running in less than a month without the risk and overhead of …installing software in-house…"

Debbie Powell, HA&W Wealth Management   

"BasisCode Compliance’s flexibility has enabled Northwest Asset Management to centralize our custom compliance program and manage Investment Advisor Representatives regulatory requirements while streamlining workflow. Our recent external audit is evidence of the benefits resulting from having a robust platform…"

Nelly Mubashi, Northwest Asset Management   

"BasisCode Compliance is a great all-around compliance system...As a result of the different modules of the system we have efficiently streamlined all of the Code of Ethics reporting, audits, tests, reviews and data that we are required to collect and store..."

Toni Gretsky, Brinker Capital   

"BasisCode Compliance has been tremendous in helping Balentine effectively manage our compliance program… The BasisCode team is very responsive …I strongly recommend BasisCode Compliance to Senior Managers who want to streamline the workload associated with Regulatory and Risk Management Programs…"

Erica Farber, Balentine   


Comprehensive financial compliance management functionality

A paperless platform for capturing all compliance workflow events and documents

Flexible system supports your workflows, procedures and rules

Seamless integration with existing systems

Links evidence to procedures

Archives all information making it easy to extract for regulatory audits

Saves time by automating all tasks and data gathering

Reduces risk exposure and liability

Your people: BasicCode financial compliance software solutions simplify compliance for all

  • Chief Compliance Officer (CCO) and compliance management team
  • Sales and Marketing teams
  • Trading, asset management, fund administration teams
  • Employees

Our people: Live Customer Support

  • Our designated account managers ensure responsive and knowledgeable support